Documents

Confidential Information and Commission Records and Information

Federal Register · Proposed Rule · Jul 20, 2007

(Act) as a DCM under Section 5 of the Act (including Section 5f), a DTEF registered under Section 5a of the Act, and a DCO registered under Section 5b of the Act. … Act.

Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Withdrawal of Proposed Regulatory Action

Federal Register · Proposed Rule · Sep 11, 2025

FOR FURTHER INFORMATION CONTACT: Thomas Smith, Acting Director, at 202-418-5495 or tsmith@cftc.gov; Frank Fisanich, Deputy Director, at 202-418-5407 or ffisanish@cftc.gov; Fern Simmons, Senior … On February 26, 2024, the Commission published a release in the Federal Register which extended the comment period for the proposal to April 1, 2024. 2 1  Operational Resilience Framework

Agricultural Swaps

Federal Register · Proposed Rule · Sep 28, 2010

DATES: Comments must be received on or before October 28, 2010. The Commission is not inclined to grant extensions of this comment period. … All comments are subject to the CFTC privacy policy.

Ethics Training for Registrants

Federal Register · Rule · May 6, 1996

to require new registrants, within 6 months after receiving such registration, to attend a training session, and all other registrants to attend periodic training sessions, to ensure that registrants … The commenters generally supported the objectives of the proposed rule amendments, but some commenters recommended modifications of the proposals.

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2025

Federal Register · Rule · Jan 24, 2025

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … and comment process the APA generally requires— i.e., notice, an opportunity for comment, and a delay in effective date—is not required for agencies to issue regulations implementing the annual adjustment

Comparability Determination for Australia: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · Apr 3, 2019

Following a review of comments received in response to this request for comment, the Commission's Global Markets Advisory Committee (“GMAC”) hosted a public panel discussion on the cross-border application … Reference period Qualifying level Margining period March, April and May 2016 AUD 3 billion 1 March 2017 to 31 August 2017.

Order (1) Pursuant to Section 4(c) of the Commodity Exchange Act, Permitting the Kansas City Board of Trade Clearing Corporation To Clear Over-the-Counter Wheat Calendar Swaps and (2) Pursuant to Section 4d of the Commodity Exchange Act, Permitting Customer Positions in Such Cleared-Only Swaps and Associated Funds To Be Commingled With Other Positions and Funds Held in Customer Segregated Accounts

Federal Register · Notice · Jun 21, 2010

The Commission requested comment on whether it should grant an exemption from the requirements of the Act, thereby permitting cleared-only wheat swaps to be cleared through KCBTCC. … The Commission requested comment on its application of these factors in the proposing release. No comments were received. VI.

Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries

Federal Register · Proposed Rule · Jan 20, 2010

DATES: Comments must be received on or before March 22, 2010. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the Proposal with their comment letters.

Request To Amend an Existing Order Under Section 4(c) of the Commodity Exchange Act Permitting Eligible Swap Participants To Submit for Clearing, and ICE Clear U.S., Inc. and Futures Commission Merchants To Clear, Certain-Over-The-Counter Agricultural Swaps

Federal Register · Notice · Jun 17, 2010

Authority for extending this relief is found in Section 4(c) of the Act. 1  7 U.S.C. 6(c). DATES: Comments must be received on or before August 2, 2010. … Request for Comment The Commission requests comment on all aspects of the issues presented by this amended exemption request. VI. Related Matters A.

Recordkeeping; Amendments to the Daily Computation of the Amount of Customer Funds Required To Be Segregated

Federal Register · Proposed Rule · Oct 31, 2000

Section 4d(2) of the Act may be found at 7 U.S.C. § 6d(2) (1994). DATES: Comments must be received on or before November 30, 2000. ADDRESSES: Comments should be mailed to Jean A. … The Commission invites interested parties to comment on the proposed amendments.

Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

Federal Register · Proposed Rule · Nov 23, 2021

Request for Comment A. General Request for Comment B. Specific Requests for Comment I. Background A. … Request for Comment A.

Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

Federal Register · Proposed Rule · Oct 27, 2010

All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to http://www.cftc.gov. … These regulations require periodic notice to be provided to individuals who obtain financial products or services primarily for personal, family, or household purposes from the institutions, and may be

Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act

Federal Register · Proposed Rule · Aug 20, 2010

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … When commenting, please also take into account the statutory definitions of these terms that have been enacted in the Dodd-Frank Act.

Account Identification for Eligible Bunched Orders

Federal Register · Proposed Rule · Jan 7, 1998

(``Act''). … Rule 5- 34(13), averaging of prices, allows a firm to execute a series of transactions within a 24-hour period to meet orders it has aggregated.

Boards of Trade Located Outside of the United States and the Requirement To Become a Designated Contract Market or Derivatives Transaction Execution Facility

Federal Register · Notice · Jun 13, 2006

ACTION: Request for comment. … DATES: Comments must be received by July 12, 2006.

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2020

Federal Register · Rule · Jan 13, 2020

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2024

Federal Register · Rule · Jan 24, 2024

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Oct 22, 2019

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … Request for comment: The Commission requests comment regarding the proposed amendment to Commission § 23.151.

Adoption of Revised Registration Form 8-R

Federal Register · Notice · Jun 24, 2020

NFA is currently the only registered futures association authorized by the Commission in accordance with Section 17 of the Commodity Exchange Act (“Act”). 6 Pursuant to Section 17(o) of the Act, … In addition, the Commission is updating the Form 8-R Privacy Act and Paperwork Reduction Act Statements.

Market and Large Trader Reporting

Federal Register · Rule · Jul 3, 2006

The Commission received one comment letter from the Chicago Mercantile Exchange (CME). 9 In its comment letter, the CME expressed general support for the Commission's proposed rules. … The Commission received no relevant comments. 62 The Commission continually invites comment on the accuracy of burden estimates and suggestions on how to further reduce these burdens.